Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-22-003740
Date:2022-01-14
Issuer: OTONOMY, INC. (OTIC)
Original Submission Date:

Reporting Person:

FOSTER ALAN CHARLES
C/O OTONOMY, INC.
4796 EXECUTIVE DRIVE SAN DIEGO, CA 92121

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2022-01-14 A 70,000 a $0.00 181,403 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 2.03 2022-01-14 deemed execution date A 130,000 (a) 2032-01-14 common stock 130,000 $2.03 130,000 direct
Footnotes
IDfootnote
f1 each share is represented by a restricted stock unit ("rsu"). one-third (1/3) of the rsus will vest on january 14, 2023 and 1/3 of the rsus will vest on each of the two anniversaries thereafter, subject to the reporting person's continued service as of each such vesting date.
f2 one-third (1/3) of the shares subject to the option vest on january 14, 2023 and one thirty-sixth (1/36) of the shares vest monthly thereafter, subject to the reporting person's continued service as of each such vesting date.

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